DID JAMES ALOYSIUS CONWELL II CAUSE YOU INVESTMENT LOSSES?
James Conwell II Of International Assets Advisory, LLC Has 5 Customer Complaints For Alleged Broker Misconduct
About James Conwell II of International Assets Advisory, LLC?
James Conwell II (CRD #1436190) has a considerable history in the securities industry. Currently, he is employed and registered with International Assets Investment Management, LLC as an investment advisor and International Assets Advisory, LLC as a registered broker in Daphne, Alabama, since December 2018 and July 2017, respectively. Over his career, Conwell has worked for several firms including WFG Advisors, WFG Investments, GunnAllen Financial, and Compass Brokerage. He has passed two general industry/product exams and one multi-state securities law exam. He is registered with one self-regulatory organization (SRO) and licensed in five U.S. states and territories.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
James Conwell II Customer Complaints and Reviews
James A. Conwell II’s FINRA report lists several disclosure events, including:
- Regulatory Event: 1
- A regulatory action by FINRA in 2016 where Conwell was fined and suspended for impersonating a customer to obtain information.
- Customer Disputes: 5
- Various allegations ranging from unsuitable investment recommendations to failure to conduct due diligence, with most disputes resolved in favor of the broker or with no action.
- Termination: 1
- Conwell was permitted to resign from Compass Brokerage in 2007 following allegations of improper use of a signature guarantee stamp.
Allegations Against James Conwell II
Specific allegations against James A. Conwell II in the pending customer dispute include:
- Regulatory Action:
- Allegation of impersonating a customer. Resulted in a 30-day suspension and a $5,000 fine.
- Customer Disputes:
- Allegations include unsuitable investment recommendations and misleading advice. Most cases were either denied or resolved without action.
- Termination:
- Alleged improper use of a signature guarantee stamp, leading to his resignation.
James Conwell II Red Flags & Your Rights As An Investor
Of course, James Conwell II did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Conwell II at International Assets Advisory, LLC on alert to review carefully the activity and performance of their accounts and question whether James Conwell II has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at International Assets Advisory, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At International Assets Advisory, LLC Due To James Conwell II
If you have questions about International Assets Advisory, LLC and/or James Conwell II and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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